Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Charges KKR With Misallocating Broken Deal Expenses

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Investment Advisers, Litigation, M&A, Private Equity Everyone knew the SEC would pursue a marquee-name private equity sponsor for misallocating expenses.  It finally happened, with KKR settling charges for misallocating “broken deal” expenses.  Charges against others are likely to follow over time. According to the SEC an investigation found that during a six-year period ending in 2011, KKR incurred $338 million in […] Read more →

by   |   June 29, 2015

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SEC Proposes Significant Reporting Requirement Amendments to Form ADV

Broker-Dealer, Investment Advisers On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, “Amendments to Form ADV and Investment Advisers Act Rules,” that would... Read more →

by   |   June 25, 2015

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SEC Exams to Focus on Sales of Retirement Products

Broker-Dealer, Investment Advisers The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative.  OCIE is... Read more →

by   |   June 22, 2015

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SEC Provides Guidance on Definition of “Spouse” and “Marriage”

Investment Advisers, Municipal Advisors, Public Companies and Securities The SEC has provided guidance on the definition of “spouse” and “marriage” in the wake of United States v Windsor.  That case held Section 3 of the Defense of Marriage... Read more →

by   |   June 20, 2015